The
management of the hundreds of thousands of traffic cases filed
in Miami-Dade County each year is a monumental challenge. Throughout
the years, the Clerk's Office and the Court have met the challenges
of this "paper tiger" by progressing from simple
manual procedures to highly complex automated processing systems.
Current demands for greater efficiency and capacity in managing
the never-ending flow of these documents have made it crucial
to find new and creative ways to manage these court records. The
SPIRIT Project (Simultaneous Paperless Image Retrieval
Information Technology) is a highly innovative and ambitious venture
intended to launch this office into the twenty-first century.
It is a cooperative endeavor between the Clerk's Office, the Administrative
Office of the Courts (AOC) and Miami-Dade County.
SPIRIT
System Overview
SPIRIT
(Simultaneous Paperless Image Retrieval Information Technology)
is a series of technology-based information systems developed
for the Traffic Division of Miami-Dade County. The projects
were initiated to provide improved service to the various agencies
that process traffic cases, attorneys and the public; and to respond
to increased pressure from the public to be able to do more with
less. SPIRIT was developed and implemented for the Traffic
Division; however, many of the core architecture and application
components were built with the intention of expanding the capability
to other case types.
SPIRIT
consists of the following major components and processes:
Calendaring
Workbench. The Calendaring Workbench
is a rule-based client / server application built with artificial
intelligence techniques and software that schedules all traffic
cases for the 14 traffic divisions and 23 traffic courtrooms within
Miami-Dade County. A setting administrator in the Administrative
Office of the Courts (AOC) develops “templates” that establish
available sessions, judge’s schedules and preferences, and session
caps by type of session. Cases that need to be set for court,
the judge’s schedules, officer schedules, the template data and
a number of setting rules (e.g. all DUI cases only heard in certain
divisions, cases for third shift officers only set for early morning
sessions, cases running on speedy set first, infraction cases
can be heard by a hearing officer instead of a judge, etc.) are
then analyzed by the rules-based engine and the cases are set
into the available sessions. The setting administrator can
review the results of the setting process, including whether or
not sessions are filled or if backlogs in certain divisions are
significant, and make decisions on changing parameters, adding
sessions, etc. to improve the court’s overall position.
Once the setting administrator is satisfied with the results,
the schedule is “accepted” and the setting information is provided
to the Traffic Information System (TIS) so that appropriate notices
can be generated. The system has been in production since
the summer of 1995, and currently sets more than 15,000 cases
per week. In addition, efforts are underway to design the system
to set the misdemeanor and domestic violence cases as well.
Imaging
and Workflow Management. The volume
of traffic cases, the actions needed on each case, and the number
of documents that must be handled for each case create a paper
tiger that is difficult to handle. The Imaging and Workflow Management
functions in SPIRIT were designed to directly address this issue.
This component of SPIRIT has been in production since the January
20, 1998. Major functions include:
Scanning,
reviewing for scan quality (QA) and document indexing.
All documents related to a traffic case are currently accepted
on paper through the US Mail or over the counter. We are
also preparing to receive SUNPASS citations electronically and
to start accepting electronically filed motions and pleadings.
Paper documents are batched by major document type, scanned by
a central processing group, QA’d for legibility and indexed to
the appropriate case. Certain document types (citations,
witness lists and arrest forms) are also processed by optical
character recognition (OCR) and bar code recognition applications
to reduce manual indexing requirements and improve overall indexing
accuracy. The indexing application supports the ability
to index a single document to multiple cases and to reindex a
document if required to correct errors. Upon acceptance
in QA, all documents are stored permanently on WORM (write once
read many) optical platters in an optical “jukebox.” Once
stored, documents can be displayed simultaneously throughout the
SPIRIT system by anyone with appropriate security approval.
Data
Entry. Citations, witness lists,
arrest forms, and direct filings by the State Attorney are electronically
sent from the QA function to the centralized Data Entry unit.
The image of each document and a 3270 mainframe window are displayed
on a high-resolution CRT for entry of data into TIS. The
case information is entered by one operator, then automatically
sent to a second operator for reentry of certain key fields for
“double” verification. If required, the image of the document
can be “zoomed” so that it is displayed up to 8 times its original
size in case the handwriting of the officer is unclear.
In instances where data is missing, such as the statute number,
the application supports automatically routing a printed copy
of the citation back to the issuing officer for correction and
resubmission. Data entry operators can also perform research
into other systems, such as DHSMV, to clarify information when
required. If the data entry clerk has any question of how
to handle a specific situation, the case can be electronically
routed to a supervisor for comment and the supervisor can then
electronically route the case back to the original operator for
resolution. Cases are routed to data entry on a supervisor-controlled
priority basis, so that jail cases are handled first, criminal
cases with shorter speedy trial periods are processed second and
infraction citations processed last.
Information
Processing. Many document types
other than citations, such as motions, notices of expiration of
speedy dates, completions of traffic school, etc. are submitted
to the clerk’s office for processing. Immediately after
a document is accepted in the QA function, it is electronically
routed, based on document routing rules, to a specific workflow
queue or “in box.” Personnel specifically trained in processing
the queue display the document and a 3270 window on a high-resolution
CRT and take the appropriate action dictated by the document.
In some cases, the document only needs to be placed in the electronic
file folder. In other cases, for example a change of address
for the defendant, updates must be posted in TIS. Workflow
queues are assigned to specific personnel by supervisors in the
unit. This assignment can be changed “on the fly” by the
supervisory personnel depending on the reported backlog of any
particular type of document. Queues are also presented to
each operator on a priority basis, so that critical documents
(such as notices of expiration of speedy date) are processed well
ahead of less critical or documents that are not time sensitive.
Unlike in the paper-based environment, the exact backlog of items
and their priority is known at any point in the business day.
Documents may also be manually routed to other operators and queues
for processing if required and most backoffice clerks are cross-trained
in the event that other units experience backlogs.
Front
Counter Processing. In many instances,
defendants and attorneys come to one of the clerk’s office locations
to request actions on a case. For example, the defendant
may pay associated fines, elect traffic school, request a trial
or request a continuance. Clerks at the information counters
use image and 3270 access windows on high-resolution CRTs to display
case information and the contents of the electronic case file
to assist in resolving the request. In many cases, new forms,
such as a clearance of a license suspension, will need to be created
to satisfy the request. SPIRIT accesses information on the
case, pre-populates forms for accuracy, allows the clerk to complete
other information, and accepts the requesting party’s signature
via an electronic pen, a copy of the form is printed for the requestor,
a copy is automatically added to the permanent electronic case
file, and automatic updates to the TIS system are also accomplished.
Calendaring
and Motion Setting. In some cases,
the calendaring workbench does not automatically set a case. Examples
would be setting a motion for a case that will be heard the next
day or setting a case on a date and time based on a request of
a judge. Processes and features similar to Information Services
described above are used to accomplish these tasks. The
Calendaring unit can also automatically create personal service
packets, print the packets and forward them to the appropriate
departments for processing. All documents created in the
unit are added automatically to the electronic case file.
The motion setting function is also provided to judge’s judicial
assistants so that they can control the judge’s calendar directly
when required.
Public
Viewing. Workstations
with simple image display and 3270 window access are provided
so that attorneys and the public can make direct inquiries into
the case files without clerk assistance. Within a few months,
SPIRIT will be web enabled and anyone with internet access will
be able to see a case summary and status, and to file on-line.
Utilities.
SPIRIT is highly table driven. Functions are provided
under secured control to customize the actions that the system
takes. A very few examples include: the types of documents
that can be identified in the indexing process, the routing rules
for each type of document, the addresses of the clerk’s offices,
and the list of valid users and their access privileges.
Reporting functions are also provided, so that supervisors can
obtain counts by processing unit and by queue of backlogged items.
Courtroom
Processing. An increasing number
of traffic cases are being heard in court sessions. Actions
in court create history that must be tracked and may create new
documents that must be kept in the case file. In the past,
these actions were indicated by “stamps” on the back of the traffic
citation or hand written on various forms. The quality,
legibility, and accuracy of these documents suffered depending
upon the judge, hearing officer or clerk who took the action.
After court, all new documents had to be manually integrated into
the case file. In preparing for court, clerks had to search
vast filing rooms for the case files, pack them into suitcases,
and courier the suitcases to the various courtroom locations throughout
the county. If a case was not properly packed, then the
file was not available to the judge during the hearing.
The Courtroom Processing functions in SPIRIT were developed to
directly address these and other issues. These functions
of SPIRIT have been in production since November 1998 and are
currently used in 23 traffic courtrooms in six locations county-wide.
Courtroom Download.
On a nightly basis, data and the electronic file for cases set
for the following two days are extracted from permanent optical
storage and electronically downloaded to servers that are dedicated
to court operations. These independent servers allow court
to continue operation if for any reason the central permanent
storage or wide area network are down. A maximum of four courtrooms
are assigned to any given server to again limit the impact on
court operations in the event of an outage.
Precourt
Processing. Prior to the beginning
of sessions, the court clerk can reorder cases on the calendar
based upon the judge's preference and on attorney requests, post
messages to the judge related to a particular case (such as the
State Attorney has stated that an officer will be late but will
be available for the case), and capture the signature of the State
Attorney hearing cases in that session to be printed on any applicable
forms that might be created. In the event that a particular
case needs to be heard but was not specifically scheduled for
the day, the clerk can also request the case and electronic case
file be emergency downloaded; and the case and its images are
sent electronically to the courtroom within 10 minutes.
Judge’s
Workbench. At the start of the
session, the judge logs on with a user id and password.
A summary calendar showing the sessions and case counts for the
day is displayed. The judge selects the appropriate session
and each of the cases on the calendar for that session are displayed
in alphabetical order, or in the order that the clerk may have
modified. The judge can hear the cases and enter his/her
actions as appropriate, such as issuing bench warrants, suspending
licenses, continuing the case, hearing motions, or disposing of
the case with appropriate fines, costs and assignments to rehabilitation
programs. All actions are tracked for each case and displayed
so that the judge can verify the actions taken. Because each judge
may impose their own sentences within appropriate statute limitations,
SPIRIT maintains an extensive list of actions, known as judge’s
options that allow each judge to customize how SPIRIT presents
selections for the judge in the courtroom. If a particular
judge does not feel comfortable using the computer, the court
clerk can enter the information for the judge and the judge is
required to review and approve the actions taken before moving
on to another case. Once the actions on a case are completed,
the defendant leaves the courtroom and moves on to the Post Judgment
Room for final processing; this removes significant distraction
from the courtroom environment if the defendant has any questions
related to payments, where to sign up for rehabilitation programs,
etc.
Post
Judgment. After the case is heard,
the defendant leaves the courtroom and goes to a central location
called a "Post Judgment" Room to receive documents related
to the actions taken on his/her case. Judgment forms, instructions
for schools, any orders created by the judge, and in some cases
commitment orders, are electronically generated in the post judgment
room. The clerk addresses any questions the defendant may
have, reviews and accepts the forms, and captures the defendant’s
signature via an electronic pen. Forms are then printed
and a copy of each form is given to the defendant. A copy is automatically
added to the electronic case file. Judge’s signatures are
automatically printed (under system control – the clerk can not
modify affixing the signature) on forms, if required. Along
with the case history information that includes every action taken
in court, these forms complete the actions that allow a case to
be heard electronically from original case creation through final
disposition.
End
of Session Processing.
After sessions have been completed, court clerks use processes
that automatically post all information created in court to the
TIS system. Since this information is automatically posted,
the accuracy of the information is vastly improved. Also
at the end of the day, all newly created case history and case
file images are copied from the dedicated courtroom servers back
to the central permanent repository. The system has the
capability to save this information for an extended period of
time and then forward the information later if the wide area network
connection to the central permanent repository is down.
In certain situations, actions taken in court may require back
office actions to be performed; for instance, if a judge asks
for a case to be set on a specific day but does not indicate a
specific time, then the calendaring unit must set the case based
on what has already been set for the day. In these instances,
the courtroom application automatically routes cases and documents
to the electronic workflow queues, much like the scanning and
QA operations in the back office.
Technical
Environment
-
Client
Workstations
-
Windows
2000
-
PC
400 mhz and 1gig
-
Cornerstone
17” (1280x1024) and Cornerstone 21” (1600x1200) displays
-
Microsoft
VisualBasic
(VB6)
-
Attachmate
Extra! for Windows (3270 Access)
-
FileNet
Panagon Client (imaging)
-
Servers
-
RS/6000
servers running IBM AIX 4.3.x
(44P SMP processors or faster preferred)
-
Oracle
8.x
-
FileNet
Panagon Image Services 3.6.
-
Microsoft
C / IBM C Compiler
SPIRIT
Project Goals
